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Scott Curtis

Director at Raymond James & Associates

Broker registration; no current adviser registrationSEC record checked 17 October 2026

0
Past adviser firms
9
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Scott Curtis is Director of Raymond James & Associates, Inc., a ST. Petersburg investment adviser managing $501B. Scott Curtis has a current broker registration and no current investment-adviser registration and has passed 9 licensing exams.

Role at Raymond James & Associates

Title on Schedule A
Director
Control
Scott Curtis is a control person of Raymond James & Associates.
Ownership
An individual ownership band is not available in the source record.
Tenure
Scott Curtis has held the filed role since March 2019.

The firm

Raymond James & Associates, Inc.
ST. Petersburg, FL

Form ADV filed 25 September 2026

$501B AUM531,617 clients5,683 advisers27 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 10 · 2008
  4. Passed Series 9 · 2006
  5. Passed Series 65 · 1999
  6. Passed Series 24 · 1991
  7. Passed Series 3, Series 7 and Series 63 · 1988

Registrations and exams

Broker registration; no current adviser registration. Scott Curtis has passed 9 qualifying exams.

Examinations

Series 653 November 1999
Name
Uniform Investment Adviser Law Examination
Series 6319 December 1988
Name
Uniform Securities Agent State Law Examination
Series 1018 December 2008
Name
General Securities Sales Supervisor - General Module Examination
Series 922 December 2006
Name
General Securities Sales Supervisor - Options Module Examination
Series 2427 November 1991
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 717 December 1988
Name
General Securities Representative Examination
Series 322 November 1988
Name
National Commodity Futures Examination

Individual record

Full name
Scott Curtis
CRD
1707935
Firm
Raymond James & Associates, Inc.
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Scott Curtis work?

Scott Curtis has been Director of Raymond James & Associates, Inc. since March 2019, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 25 September 2026

Does Scott Curtis have a current investment-adviser registration?

Scott Curtis has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Scott Curtis passed?

Scott Curtis has passed 9 licensing exams: the Series 3, Series 7, Series 63, Series 24, Series 65, Series 9, Series 10, SIE and Series 99TO. The earliest, the Series 3, was passed in November 1988.

Source: IAPD individual record, checked 17 October 2026

Leadership at Raymond James & Associates

Sources

  1. IAPD individual record, CRD 1707935. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Raymond James & Associates, Inc., filed 25 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Scott Curtis or Raymond James & Associates, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.